Futures trading platform located in Chicago looking to bring on a new “Chief Compliance Officer” to join their team. This role is in a hybrid schedule (3 days per week).Responsibilities:• Monitoring and interpreting regulatory requirements from relevant authorities such as the Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), and other regulatory bodies• Developing and maintaining policies and procedures to ensure compliance with applicable laws, rules, and regulations• Conducting regular compliance reviews and assessments to identify potential areas of non-compliance and implement corrective actions as necessary• Assessing and mitigating compliance risks associated with the company’s operations, products, and services• Developing risk-based compliance monitoring programs to identify, assess, and address potential compliance risks• Providing guidance on compliance-related risks to senior management and the other Senior Executives• Serve as the primary point of contact for regulatory agencies and provide guidance to senior management on compliance matters• Investigate and respond to regulatory inquiries, preparation for NFA exams, satisfying annual NFA requirements and management of internal audits• Manage the review and approval processes for promotional material, sales solicitation, new accounts, trading activity, and customer complaints• Advise the Futures business, with a particular focus on Compliance responsibilities as a non-Clearing FCM• Identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices• Research, interpret and advise the firm regarding compliance with laws, regulations, and guidance applicable to non-clearing futures commission merchants
Piedmont Healthcare is seeking a Board-Certified Wound Care Physician for a PRN position at our Newnan Hospital location. The ideal candidate will have a passion for and an interest in providing wound care to patients in the post-acute and outpatient setting. Requirements...
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...of assets, processes, policies, and people delivering value. See Link To the ProSidian website at DescriptionProSidian Seeks a RPA Developer | Human Capital Technology Support - Intelligent Automation (AI & RPA) [NSF0056056] for Program Support on a Exempt W2: No Overtime...
Earn at Home by Taking Polls - Data Entry Clerk - Work at Home & Part Time (Side Gig)We are looking for people who are motivated to participate in paid research across the country and local areas. Join this Work from Home USA Market Research Panel Today.You have...
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